Blake Brockway

Blake Brockway

Katten Muchin Rosenman LLP

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CFTC Issues Interpretation Regarding Auditor Independence Standards

On March 28, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight issued an interpretive statement regarding the auditor independence standards applicable to futures commission...more

4/8/2014 - Auditors Audits CFTC FCMs Swap Dealers Swaps

Joint Audit Committee Adopts Template Acknowledgment Letters

On March 12, the Joint Audit Committee issued a regulatory alert and revised templates for segregated, secured and cleared swap customer acknowledgment letters...more

3/19/2014 - CFTC FCMs Joint Audit Committee Swaps

NFA Implements Additional Reporting Requirements for Certain FCMs

On January 6, National Futures Association (NFA) issued a notice to members implementing new daily, monthly and quarterly reporting requirements for futures commission merchants (FCMs) for which NFA is the designated...more

1/15/2014 - FCMs NFA Reporting Requirements Self-Regulatory Organizations

CFTC Adopts Enhanced Customer Protection Rules

On October 30, the Commodity Futures Trading Commission adopted final rules designed to enhance customer protection. The rules expand the information provided to customers regarding the risks of trading generally and the...more

11/5/2013 - CFTC Commodity Futures Contracts FCMs

NFA Issues a Notice Regarding Segregated Account Balance Reporting

On June 19, the National Futures Association (NFA) issued a notice to its members regarding the implementation of the second phase of the segregated account balance reporting requirements under Section 4 of the NFA’s...more

6/25/2013 - Derivatives Clearing Organizations FCMs NFA Reporting Requirements Segregated Funds

FCMs Required to Have Chief Compliance Officer by March 29

Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more

3/20/2013 - CFTC Chief Compliance Officers Compliance FCMs NFA Reporting Requirements

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